date approved 21 - herefordshirecouncillors.herefordshire.gov.uk/documents... · 2 hccg –...
TRANSCRIPT
1
Reference number HCCG00040
Date approved 21 . 01 . 2014
Last Revised n/a
Review date 21 . 01 . 201 6
Category Governance
Contact H elen Hancock
Who should read this All
C ONFLICTS OF INTEREST POLICY
2
HCCG – Conflicts of Interest Policy – v2.2 January 2014
HCCG – Conflicts of Interest Policy – v2.1 January 2014
Method of circulation: Herefordshire CCG website, cascade via Senior
Management Team, Staff newsletter, through Practice Forum, letter to staff and
CCG member reps, GP Newsletter. Staff, GP, Governing Body awareness training
3
HCCG – Conflicts of Interest Policy – v2.2 January 2014
Contents 1 Introduction ................................................................................................... 4
2 Purpose ........................................................................................................ 5
3 Responsibilities .............................................................................................
5 4 Procedures / Processes
................................................................................ 6
4.1 Definition of a conflict of Interest
................................................................... 6
4.2 Identifying conflicts of interest
....................................................................... 7
4.3 Declaring and registering interests
............................................................... 9
4.4 Maintaining a register of Interests
............................................................... 10
4.5 Managing conflicts of interest
..................................................................... 10
4.6 Declarations of Interests on Application for Appointment or
Election/appointment to the CCG ............................................................... 12
4.7 Mitigating conflicts of interest
...................................................................... 12
4.8 Quorum
....................................................................................................... 17
4.9 Declarations of Interest in relation to Procurement
..................................... 17
4.10 Designing services and conflicts of interest
................................................ 18
4.11 Specific safeguards for managing conflicts of interest for General
Practices that are potential providers of CCG-commissioned services
...................... 20
4.12 Specific safeguards for managing conflicts of interest for contractors
and people who provide services to the CCG .................................................... 20 5
Related Documents .................................................................................. 21
6 Dissemination ........................................................................................... 22
7 Advice ........................................................................................................ 22
8 Review and Compliance Monitoring ....................................................... 23
8.1 Review
........................................................................................................ 23
8.2 Compliance Monitoring
............................................................................... 23
4
HCCG – Conflicts of Interest Policy – v2.2 January 2014
Appendices
Appendix 1 The Nolan Principles
Appendix 2 Declarations of Interest for members/employees template
Appendix 3 Register of Interests
Appendix 4 Procurement declaration of Interest (Project Team)
Appendix 5 Code of Conduct Template
Appendix 6 Procurement declaration of interest (Bidder)
Appendix 7 Declaration of interest for contractors providing direct services to the
CCG template
1 Introduction
Managing conflicts of interest appropriately is essential for protecting the
integrity of NHS Herefordshire Clinical Commissioning Group (the CCG)
from perceptions of wrongdoing. The CCG must meet the highest level of
transparency to demonstrate that conflicts of interest are managed in a way
that cannot undermine the probity and accountability of the CCG.
It will not be possible to avoid conflicts of interest. They are inevitable in
many aspects of public life, including the NHS. However, by recognising
where and how they arise and dealing with them appropriately,
commissioners will be able to ensure proper governance, robust
decisionmaking and appropriate decisions about the use of public money.
Statutory requirements
Section 14O of the National Health Service Act 2006, inserted by the Health
and Social care Act 2012, sets out that each CCG must:
• maintain one or more registers of interest of: the members of the
group, members of its governing body, members of its committees or
sub-committees of its governing body, and its employees;
• publish, or make arrangements to ensure that members of the public
have access to these registers on request;
• make arrangements to ensure individuals declare any conflict or
potential conflict in relation to a decision to be made by the group,
and record them in the registers as soon as they become aware of it,
and within 28 days; and
• make arrangements, set out in their constitution, for managing
conflicts of interest, and potential conflicts of interest in such a way as
to ensure that they do not and do not appear to, affect the integrity of
the group’s decision-making processes.
5
HCCG – Conflicts of Interest Policy – v2.2 January 2014
The NHS England has published guidance for CCGs on the discharge of
their functions under this section and each CCG must have regard to this
guidance. This policy has been based upon this guidance.
In addition the NHS (Procurement, Patient Choice and Competition)
Regulations 2013 set out that commissioners:
• must manage conflicts and potential conflicts of interests when
awarding a contract by prohibiting the award of a contract where the
integrity of the award has been or appears to have been affected by a
conflict;
• must keep appropriate records of how they have managed any
conflicts in individual cases.
The CCG has sets out in its constitution in Paragraph 8 and Appendix M
how the CCG will comply with these requirements.
2 Purpose The aim of this policy is to protect both the organisation and individuals
involved from impropriety or any appearance of impropriety by setting out
how the CCG will manage conflicts of interest to ensure there can be
confidence in the probity of commissioning decisions and the integrity of the
clinicians involved with the work of the CCG.
Conflicts of interest may arise where an individual’s personal interests or
loyalties or those of a connected person (a relative or close friend) conflict
with those of the CCG, or might be perceived to conflict with those of the
CCG. Such conflicts may create problems such as inhibiting free discussion
which could result in decisions or actions that are not in the interests of the
CCG, and risk giving the impression that the CCG has acted improperly.
The CCG governing body’s responsibility includes the stewardship of
significant public resources and the commissioning of health and social care
services to the population of Herefordshire. The governing body is therefore
determined to ensure the organisation inspires confidence and trust
amongst its staff, partners, funders, suppliers and the public by
demonstrating integrity and avoiding any potential or real situations of undue
bias or influence in the decision-making of the CCG.
This policy reflects the Appointment Commission’s Code of Accountability
and Code of Conduct for NHS Boards and the ‘Seven Principles of Public
Life’ from the Nolan Committee (Appendix 1).
Appendix 1: First report of the Committee on Standards in Public Life (1995)
The Nolan Principles
3 Responsibilities
3.1 Employees, members of the CCG (the 24 GP practices plus walk in centre in
Herefordshire), members of the CCG Governing Body and its committees
6
HCCG – Conflicts of Interest Policy – v2.2 January 2014
and sub committees and contractors and providers of services will at all
times comply with this policy.
3.2 It is the responsibility of all the CCG members, employees, governing body
members and members of its committees and sub committees, contractors
and provider of services to familiarise themselves with this policy and
comply with its provisions.
3.3 The CCG Governing Body will ensure that all employees, members of the
CCG, committees and sub committees, contractors and providers of
services are aware of the existence of, and responsibilities resulting from,
the policy.
3.4 The Head of Business Delivery is responsible for receiving declarations of
interest and collating them into register of interests for publication on the
CCG’s website and to be made available on request by the public at the
CCG’s headquarters.
3.5 The Chief Officer is responsible for making decisions on arrangements for
mitigating conflicts or potential conflicts of interest once declared, based
upon the decision making framework set out in section 4.7 of this policy and
to raise any concerns with the Lay member for Audit and Governance as
appropriate. The CCG’s Chief Officer is also responsible for communicating
these mitigating arrangements in writing back to the individuals concerned
the decision making framework set out in section 4.7 below. The CCG’s
Chief Officer and Chair are also responsible for reviewing the operation of
this policy and will consult with the Lay member for Audit and Governance
for proposing changes to this policy for consideration by Audit Committee as
part of its annual assurance review (see section 8.1 below).
3.6 Line Managers of the CCG must ensure members of staff are aware of the
policy and the process to be followed for declaring interests. Line managers
must consider any declarations of interest made by their staff and put in
place mitigating arrangements in accordance with the instructions of the
Chief Officer where appropriate. Where this is not clear, they should consult
the Head of Business Delivery, or the Chief Officer.
3.5 Heads of Commissioning and the procurement function in the CSU must
ensure that bidders, contractors and direct service providers adhere to this
policy, and that the service re-design and procurement processes used by
the CCG reflect the procedures set out in this policy.
4 Procedures / Processes
4.1 Definition of a conflict of Interest
A conflict of interest occurs where an individual’s ability to exercise judgement or
act in one role is, or could be, impaired or otherwise influenced by, his or her
7
HCCG – Conflicts of Interest Policy – v2.2 January 2014
involvement in another role or relationship. The individual does not need to
exploit his or her position or obtain an actual benefit, financial or otherwise.
A potential for competing interests and/or a perception of impaired
judgement, or undue influence can also be a conflict of interest.
Conflicts can arise in a number of different ways; an indirect financial
interest (e.g. payment to a spouse) or a non-financial interest (e.g. kudos or
reputation). Conflicts of loyalty may arise (e.g. in respect of an organisation
of which the individual is a member or has an affiliation). Conflicts can arise
from personal or professional relationships with others, e.g. where the role
or interest of a family member, friend or acquaintance may influence an
individual’s judgement or actions, or could be perceived to do so. These are
all conflicts of interest.
The important things to remember are that:
• a perception of wrongdoing, impaired judgement or undue influence
can be as detrimental as any of them actually occurring;
• if in doubt, it is better to assume a conflict of interest and manage it
appropriately, rather than ignore it;
• for a conflict to exist, financial gain is not necessary.
4.2 Identifying conflicts of interest As stated in Section 8.2.3 of the CCG Constitution, a conflict of interest will
include:
a) a direct pecuniary interest: where an individual may financially benefit
from the consequences of a commissioning decision (for example, as
a provider of services);
b) an indirect pecuniary interest: for example, where an individual is a
partner, member or shareholder in an organisation that will benefit
financially from the consequences of a commissioning decision;
c) a non-pecuniary interest: where an individual holds a non-
remunerative or not-for profit interest in an organisation, that will benefit from
the consequences of a commissioning decision (for example, where an
individual is a trustee of a voluntary provider that is bidding for a contract);
d) a non-pecuniary personal benefit: where an individual may enjoy a
qualitative benefit from the consequence of a commissioning decision
which cannot be given a monetary value (for example, a
reconfiguration of hospital services which might result in the closure
of a busy clinic next door to an individual’s house);
e) where an individual is closely related to, or in a relationship, including
friendship, with an individual in the above categories. By way of
example, this includes:
• A partner (someone who is married to, a civil partner of, or someone
with whom the member of staff lives);
• A parent or parent in law;
8
HCCG – Conflicts of Interest Policy – v2.2 January 2014
• A son or daughter, including stepson and step daughter;
• The child of a partner;
• A brother or sister;
• A brother or sister of the individual’s partner;
• A grandparent and/or grandchild;
• An uncle or aunt;
• A nephew or niece;
• The partners of the above.
f) any duty whatsoever imposed on any member of the governing body
or its sub-committees, Clinical Commissioning Group
members/clinicians by any other codes of conduct to which the
member is subject;
g) any other interest whatsoever that should be dutifully declared under
the health and Social Care Act 2012 and guidance issued by the
Department of Health from time to time;
h) an interest that the member of the board or its sub-committees if
registered with the General Medical Council (GMC) would require
declarations in accordance with paragraph 55 of the GMCs
publication ‘Management for doctors or any successor code’
including the referral of any patient by a board member or its sub-
committees to a provider in which the member has a conflict of
interest;
f) an interest that the member of the board or its sub-committees if
registered with the Nursing and Midwifery Council (NMC) would require
declaration in accordance with the NMC’s publication ‘Code of Conduct’ of
any successor code including the referral of any patient by a board member
or its sub-committees to a provider in which the member has a conflict of
interest.
Where individuals are unsure whether a situation falling outside of the above
categories may give potential for a conflict of interest, this should be
discussed with the Head of Business Delivery, who will co-ordinate advice
from the Chief Officer, the Chair and consult the Lay Member for Audit and
Governance if in doubt, who will provide an independent view if required. If
in doubt, the individual concerned should assume that a potential conflict of
interest exists.
Examples of roles or relationships (whether of the individual themselves or a
family member, close friend or other acquaintance of the individual) that
might create a real or perceived conflict of interest include:
• roles and responsibilities held within member GP practices;
• directorships, including non-executive directorships, held in private
mompanies or PLCs;
9
HCCG – Conflicts of Interest Policy – v2.2 January 2014
• ownership or part-ownership of private companies, businesses or
consultancies likely or possibly seeking to do business with the CCG;
• shareholdings (more than 5%) of companies in the field of health and
social care;
• a position of authority in an organisation (e.g. charity or voluntary
organisation) in the field of health and social care;
• any connection with a voluntary or other organisation contracting for
NHS services;
• interests in pooled funds that are under separate management;
• research funding/grants that may be received by the individual or any
organisation in which they have an interest or role;
• any other role relationship which the public could perceive would impair
or otherwise influence the individual’s judgement or actions in their role
within the CCG.
When considering if an interest is sufficiently material to, give rise to a
conflict of interest or when considering which measures the CCG shall put in
place to manage the conflict the influence rather than the immediacy of the
relationship shall be more important in assessing the relevance of an
interest
4.3 Declaring and registering interests
Employees, members of the CCG, governing body members (and members
of committees and sub committees) (including committee and
subcommittees of the governing body)required to declare interests for their
services, must complete declaration of Interest form (Appendix 2) and that
declarations of interest are made and regularly confirmed or updated in the
following circumstances:
• On appointment: applicants for any appointment to the CCG or its
governing body should be asked to declare any relevant interests as
part of the election/recruitment process. When an appointment is
made, a formal declaration of interests should be made and
recorded.
• Annually: all interests should be confirmed at least annually.
• At meetings: all attendees should be asked under a standing item on
the agenda of the meeting, to declare any interest they have in any
agenda item before it is discussed or as soon as it becomes
apparent. Even if the interest is declared in the register of interests, it
should be declared in meetings where matters relating to that interest
are discussed. Declarations of interest made should be recorded in
the minutes of the meeting.
• On changing role or responsibility: where an individual changes
role or responsibility within the CCG or its governing body, any
change to the individual’s interests should be declared.
• On any other change of circumstances: wherever an individual’s
circumstances change in a way that affects the individual’s interests
10
HCCG – Conflicts of Interest Policy – v2.2 January 2014
(e.g. where an individual takes on a new role outside the CCG or sets
up a new business or relationship), a further declaration should be
made to reflect the change in circumstances. This could involve a
conflict of interest ceasing to exist or a new one materialising.
In keeping with the National Health Service Act 2006 (as amended by the
Health and Social Care Act2012), individuals who have a conflict should
declare this as soon as they become aware of it, and in any event no later
than 28 days after becoming aware. The declaration of interest form should
be completed or an amendment emailed to the Head of Business Delivery
(with a signature) - change notifications will be accepted by email and
logged accordingly.
Where an individual is unable to provide a declaration in writing, e.g. if a
conflict becomes apparent in the course of a meeting, they will make an oral
declaration before witnesses, and provide a written declaration (or email
declaration) as soon as possible thereafter but no later than 28 days. If the
individual, for any reason, has difficulty making a declaration in writing or via
email, then they should contact the Head of Business Delivery or
Governance Manager for assistance and support.
If an individual fails to declare an interest or the full details of the interest this may result in disciplinary action resulting in the individual being dismissed or removed from their role.
Appendix 2: Declaration of Interest Form – Members/employees of NHS
the CCG
4.4 Maintaining a Register of Interests The declaration of interest forms completed in accordance with Appendices
2, 4 and 7 will be used to create registers of interest. The Head of Business
Delivery will maintain the following registers of the declared relevant [and
material] interests of:
• the members of the CCG governing body
• the members of its committees or sub-committees and the
committees or sub-committees of its governing body;
• employees; and; bidders/potential contractors/service providers and
associated individuals and organisations.
The registers will be published on the CCG’s website at
www.herefordshireccg.nhs.uk and will be made available on request for
inspection at the CCG’s headquarters. The registers will also be reported to
Audit Committee twice yearly, reported twice yearly to the governing body
and included in the CCG’s Annual Report. By declaring interests, the
individual is deemed to give permission for this information to be shared
publicly.
Appendix 3: Declarations of Interest Register
11
HCCG – Conflicts of Interest Policy – v2.2 January 2014
4.5 Managing conflicts of interest The CCG is required by statute to make arrangements for managing actual
conflicts of interest, and potential conflicts of interest, in such a way as to
ensure that they do not appear to affect the integrity of the CCG’s decision
making.
Within a week of any relevant interest being declared for the first time in line
with section 4.4 above, the arrangements for managing any actual or
potential conflicts of interest arising from the declared interest will be
communicated to the relevant individual in writing by or on behalf of the
Chief Officer or Chair and notify the Governing Body Lay Member for Audit
and Governance (see 3.5 above) or in the case of staff by the individual’s
line manager (see 3.6 above).
The arrangements will confirm the following:
• When an individual should withdraw from a specified activity, on a
temporary or permanent basis;
• Monitoring of the specified activity undertaken by the individual, either
by a line manager, colleague or other designated individual.
All individuals covered by this policy must comply with the arrangements
communicated to them in line with paragraph above.
Where an interest has been declared, the individual will ensure that before
participating in any activity connected with commissioning, by the CCG he
or she has received confirmation of the arrangements to manage the conflict
of interest.
Where an individual, employee or person providing services to the CCG
attending a meeting is aware of an interest which has not been declared, he
or she will declare this at the start of the meeting.
Where an individual, employee or person providing services to the CCG is
attending a meeting is aware of an interest that has previously been
declared in relation to the scheduled or likely business of the meeting, the
individual will bring this to the attention of the chair of the meeting, together
with details of arrangements which have been confirmed for the
management of the conflict of interest or potential conflict of interest.
The Chair of the meeting will determine how the conflict should be
managed, and will inform the individual of the decision. Where no
arrangements have been confirmed, the Chair of the meeting may require
the individual to withdraw from the meeting or part of it. The individual will
then comply with these arrangements, which must be recorded in the
minutes of the meeting.
Where the Chair of any meeting of any group including committees,
subcommittees of the governing body and the governing body’s committees
or sub-committees has a personal interest, previously declared or otherwise,
in relation to the scheduled or likely business of the meeting, he or she must
make a declaration and the deputy Chair will act as Chair for the relevant
part of the meeting. Where arrangements have been confirmed for the
management of the conflict of interest or potential conflict of interest in
12
HCCG – Conflicts of Interest Policy – v2.2 January 2014
relation to the Chair, the meeting must ensure these are followed. Where no
arrangements have been confirmed, the Deputy Chair may require the Chair
to withdraw from the meeting or part of it. Where there is no Deputy Chair,
the members of the meeting will select one.
Declarations of interests, and the arrangements agreed to manage them,
will be recorded in the minutes of the meeting.
4.6 Declarations of Interests on Application for Appointment or
Election/appointment to the CCG
Individuals applying for appointment for any position in the CCG will be
required, as part of the appointments process, to declare any relevant
interests. This includes:
• Lay member appointments to the governing body
• Other appointments of external individuals to the governing body, its
committees, and other working or project groups
• Professional medical practitioners standing for election to the governing
body
• All employees and individuals contracted to work for the CCG, especially
those operating at senior level or governing body level.
The purpose of such declarations will be to enable the governing body and
Audit Committee, to determine on a case to case basis, whether any of the
declared interests are such that they could not be managed under this policy
and mean that the individual should be excluded from being appointed to
the governing body or to a committee or sub-committee of the CCG as the
declared interest is so related to a significant area of the business that the
individual would be prevented from making a full and proper contribution to
the CCG..
In so doing they will take into consideration the materiality of the declared
interest and the extent to which the individual (or a family member) could
benefit from any decision that the governing body might make.
Any individual who has a material interest in an organisation that provides or
is likely to provide substantial business to the CCG (either as a provider of
healthcare or commissioning support services) shall not be appointed as a
member of the governing body.
4.7 Mitigating conflicts of interest
Where a conflict of interest exists, there are various ways in which the
conflict may be managed, depending on its impact. The level of mitigating
action will be determined by, the Chief Officer in consultation with the Chair,
13
HCCG – Conflicts of Interest Policy – v2.2 January 2014
the Board Lay Member for Audit and Governance or another non-conflicted
governing body member where appropriate, and in the case of an employee
by the line manager. This decision will be recorded either in the relevant
minutes or in the register of interests and communicated to the individual
making the declaration in writing as per section 4.5 above.
In considering how the conflict shall be mitigated the Chair, Chief Officer in
consultation with the Board Lay Member for Audit and Governance [and line
manager for employees] shall apply the decision framework set out below
and act in accordance with the Constitution. Application of the different
levels is cumulative, so each interest will be judged against level 1 in the
first instance, and if not suitable then level 2 and so on.
Where mitigation arises from any level of management strategy above level
1, the Chair, the Chief Officer and Lay Member for Audit and Governance
would be expected to conduct informal discussions with the individual
concerned to ensure they fully understand the action requested of them, and
they have an opportunity to seek clarity or raise concerns.
The following decision framework1 will be used to determine what level of
mitigation can be put in place to limit the conflict of interest.
1 Based upon the publication from ICAC and CMC: “Managing Conflicts of Interest in the Public Sector” –
Toolkit November 2004, Tool 9.2 management options ready reckoner Page 60.
Mitigation When most suitable
Level 1 - Register For very low-risk conflicts
Where details of the of interest and potential
existence of a possible conflicts of interest or
potential conflict of Where the act of
interest are formally transparency through
registered recording the conflict of
interest is sufficient
All interests must be registered in full
Level 2 - Restrict The individual can be
Where restrictions are effectively separated
placed on the from parts of the activity or
process
individual’s involvement in the
matter • The conflict is not likely to arise frequently
HCCG – Conflicts of Interest Policy – v2.1
When least suitable
• The conflict of interest is more
significant or of higher risk
• The potential or perceived
effects of a conflict of interest
on the proper performance of
the individual acting for the
CCG requires more pro-active
management
• The conflict is likely to arise
more frequently
• The individual is constantly
unable to perform a number of
their regular duties/role
because of the conflict of
interest issues.
14 January 2014
Strategies
• Ensure that the interest is widely known by
including in the publicly available register of
interests
• Ensure register of interests is included with
the governing body agenda so governing
body members are aware of the conflict.
• Ensure register of interests is shared and
accessible to all managers so they are
aware of staff declarations of interest
• If an individual fails to declare an interest
or the full details of the interest, this may
result in the individual being dismissed
or removed from their role.
• Non-involvement in any critical criteria
setting or decision-making role in the
process concerned
• Refrain from taking part in any debate about
the issue
• Abstaining from voting on decision proposal
• Withdrawing from discussion of affected
proposals and plans
• Having restricted access to information
relating to the conflict of interest
• Being denied access to sensitive
documents Level 3 - Recruit It is
not feasible or Where a disinterested
desirable for the third party is used to
individual to remove oversee part or all of
themselves from the the process that deals
decision making process
with the matter. Where the expertise of the individual is
necessary and not
genuinely not easily
replaced
Level 4 - Remove For ongoing serious Where
the individual is conflicts of interest removed from
the where ad hoc restriction matter or
recruitment of others is not appropriate
HCCG – Conflicts of Interest Policy – v2.2
• The conflict is serious and
ongoing, rendering ad hoc
recruitment of others
unworkable
• Recruitment of a third party is
not appropriate for the proper
handling of the matter
• A suitable third party is unable
to be sourced
• The conflict of interest and its
perceived or potential effects
are of low risk or low
significance
• The individual is prepared to
relinquish the relevant private
interest rather than radically
change their work responsibilities or
environment
15
January 2014
or confidential information relating to the
conflict of interest
• Arranging for the affected decision to be
made by an independent third party
• Engaging a third party or auditor to oversee
or review the integrity of the decision
making process.
• Increase the number of people sitting on the
decision-making body to balance the
influence of a single member who may have
a conflict of interest but who has a
defendable reason for remaining on the
decision making body
• Seeking the views of those likely to be
concerned about a potential, actual or
reasonably perceived conflict of interest,
about whether they object to the individual
having any, or any further, involvement in
the matter
• Removing the individual from any
involvement in the matter
• Abstaining from any formal or informal
discussion about the matter
• Removing the individual from the situation
where they may still exert or be perceived to
exert a covert influence on decisions or
actions in the matter. Rearranging the
individual’s duties and responsibilities to a
non-conflicting function
16
HCCG – Conflicts of Interest Policy – v2.2 January 2014
4.8 Quorum If more than 50% of the members of a meeting are required to withdraw
from a meeting or part of it, owing to the arrangements agreed for the
management of conflicts of interests or potential conflicts of interests, the Chair (or Deputy Chair) will determine whether or not the discussion can
proceed. In making this decision, the Chair will consider whether the
meeting is quorate, in accordance with the number and balance of
membership set out in the group’s standing orders. Where the meeting is
not quorate, owing to the absence of certain members, the discussion will
be deferred until such time as a quorum can be convened. Where a
quorum cannot be convened from the membership of the meeting, owing to
the arrangements for managing conflicts of interest or potential conflicts of interests, the Chair of the meeting shall consult with the Chief Officer what
action should be taken.
Mitigating action may include:
• requiring the governing body or another committee or sub-committee to
progress the item of business, or if this is not possible,
• inviting, on a temporary basis. one or more of the following to make up
the quorum (where these are permitted members of the governing body
or committee / sub-committee in question) so that the group can progress the item of business:
i) an individual, appointed to act on the CCG’s behalf; ii)
a member of a relevant Health and Wellbeing Board; iii) a
member of a Governing Body of another Clinical
Commissioning Group.
These arrangements must be recorded in the minutes.
4.9 Declarations of interest in relation to Procurement In order for the CCG to recognise and manage any conflicts or potential
conflicts, declarations of interest, including nil returns where appropriate,
will be required from CCG members and CCG/CSU staff in relation to every
procurement exercise on which they are engaged. The contract lead
overseeing a procurement process should ensure that the CSU
Procurement team seeks declarations of interest at the outset from those
individuals involved, with the original signed declaration of interest held by
the CSU Procurement team and a copy sent to the Head of Business
Delivery for inclusion in the Register of Interests, and for notification to the
Audit Committee and Governing Body. A copy of the declaration of interest
form for procurement is attached as Appendix 4.
Particular consideration needs to be given to the role of GP members in
procurement exercises where: 17
19
HCCG – Conflicts of Interest Policy – v2.2 January 2014
HCCG – Conflicts of Interest Policy – v2.1 January 2014
• the CCG is proposing to commission through competitive tender and GP
practices are likely to bid
• the CCG is proposing to commission through an Any Qualified Provider
process, where one or more GP practices are likely to be among the
qualified providers offering to provide the service
• the CCG is proposing to commission through single tender from GP
practices
Where a declaration states an interest that has not already had
mitigating action considered and communicated to the individual
concerned, then the Head of Business Delivery will liaise with the Chair
in the first instance and if a course of action is undecided then the Lay
Member for Audit and Governance will be consulted to consider whether
the conflicts of interest declared specifically for a procurement process
would preclude the individual from continuing, or whether mitigating
actions can be taken to allow the individual to continue to take a part in
the procurement process.
Appendix 4: Procurement declaration of Interest (Project Team)
4.10 Designing services and conflicts of interest The CCG recognises the benefits to be gained from engagement with
relevant providers, especially clinicians, in confirming the design of service
specifications. However, the CCG also recognises that conflicts of interest
can occur if a commissioner engages selectively with only certain providers
(be they incumbent or potential new providers) in developing a service
specification for a contract for which they may later bid for in a competitive
process.
The same difficulty could arise in developing a specification for a service
that is to be commissioned using the ‘Any Qualified Provider’ process, for
example where there is not a competitive procurement but patients can
instead choose from any qualified provider that wishes to provide the
service and can meet NHS standards and prices.
The CCG will seek, as far as possible, to specify the outcomes that they
wish to see delivered through a new service, rather than the way in which
these outcomes are to be achieved. As well as supporting innovation, this
helps prevent bias towards particular providers in the specification of
services.
The CCG will seek to follow the principles set out in the Office of
Government Commerce guidance on pre-procurement engagement with
potential bidders, in engaging with potential providers when designing
service specifications. Such engagement should follow the four main
principles of procurement law, namely equal treatment, non-discrimination,
20
HCCG – Conflicts of Interest Policy – v2.2 January 2014
transparency and proportionality. This includes ensuring that the same
information is given to all.
The CCG will consider the following points when engaging with potential
service providers:
• Use engagement to help shape the requirement but take care not to
gear the requirement in favour of any particular provider(s).
• Ensure at all stages that potential providers are aware of how the
service will be commissioned, e.g. through competitive procurement
or through the ‘Any qualified provider’ process.
• Work with participants on an equal basis, e.g. ensure openness of
access to staff and information.
• Be transparent about procedures.
• Maintain commercial confidentiality of information received from
providers.
The CCG shall use engagement with potential providers to:
• Frame the requirement;
• Focus on desired outcomes rather than specific solutions; and
Consider a range of options for how a service is specified.
Other practical steps the CCG may also consider using shall include:
adopting are:
• Advertising the fact that a service design/re-design exercise is taking
place widely (e.g. on NHS Supply2Health) and inviting comments
from any potential providers and other interested parties (ensuring a
record is kept of all interactions) – i.e. do not be selective in who
works on the service specifications unless it is clear conflicts will not
occur.
• As the service design develops, engaging with a wide range of
providers on an ongoing basis to seek comments on the proposed
design, e.g. via the CCG’s website or workshops with interested
parties.
• If appropriate, engaging the advice of an independent clinical adviser
on the design of the service.
• When specifying the service, specifying desired (clinical and other)
outcomes instead of specific inputs.
Where an individual has declared a relevant and material interest or
position in the context of the specification for, or award of, a contract the
individual concerned will be expected to act in accordance with the
arrangements for the management of conflicts of interest outlined in this
policy and may be excluded from the decision making process in relation to
the relevant specification or award.
21
HCCG – Conflicts of Interest Policy – v2.2 January 2014
4.11 Specific safeguards for managing conflicts of interest for General Practices that are potential providers of CCGcommissioned services The CCG may commission primary care services, including incentive
schemes, from General Practices. If a General Practice, or group of
practices, provides a service, the CCG will need to demonstrate to the Audit
Committee (and to the external and internal auditors) that the service: a)
clearly meets local health needs, and has been planned appropriately;
b) goes beyond the scope of the GMS / PMS contract;
c) offers best value for money; and
d) has been commissioned via the appropriate procurement process.
A General Practice or group of practices may belong to a provider
consortium in which GPs have a financial interest.
Where General Practices including provider consortia or organisations in
which GPs have a financial interest are potential providers of
CCGcommissioned services, the CCG will seek to assure itself of the
factors set out in and to use the NHS Commissioning Board’s Code of
Conduct for managing conflicts of interest (Appendix 5) and the
procurement should be approved by the Audit Committee.
Appendix 5: Code of Conduct template
4.12 Preserving integrity of decision-making process where all/or
most of the GPs have an interest in a decision from
guidance
Where certain members of the CCG have a material interest, they will either
be excluded from relevant parts of meetings, or join in the discussion but
not participate in the decision-making itself (ie not have a vote).
In many cases, for example, where a limited number of GPs have an
interest, it will probably be straightforward for relevant individuals to be
excluded from decision-making.
In cases where all of the GPs or other practice representatives on a
decision-making body could have a material interest in a decision,
particularly where the CCG is proposing to commission services on a single
tender basis from all GP practices in the area, or where it is likely that all or
most practices would wish to be qualified providers for a service under
AQP, the CCG:
• may refer the decision to the governing body and exclude all GPs or
other practice representatives with an interest from the
decisionmaking process, ie so that the decision is made only by the
22
HCCG – Conflicts of Interest Policy – v2.2 January 2014
non-GP members of the governing body including the lay members
and the registered nurse and secondary care doctor;
• shall consider co-opting individuals from a Health and Wellbeing
Board or from another CCG onto the governing body, or inviting the
Health and Wellbeing Board or another CCG to review the proposal,
to provide additional scrutiny, although such individuals would only
have authority to participate in decision-making if provided for in the
CCG’s constitution;
• ensure that rules on being quorate at meetings (set out in the CCG’s
constitution) enable decisions to be made; and
• plan ahead to recognize when items on meeting agendas that
require decisions to be made are coming up that the agreed
processes for ensuring they remain quorate are implemented.
Depending on the nature of the conflict, GPs or other practice
representatives could be permitted to join in the governing body’s
discussion about the proposed decision, but should not take part in any
vote on the decision.
4.13 Specific safeguards for managing conflicts of interest for
contractors and people who provide services directly to the
CCG Anyone participating in the procurement, or otherwise engaging with the
CCG, in relation to the provision of services or facilities, will be required to
make a declaration of any conflict or potential conflict of interest.
The Contract lead overseeing a procurement process should ensure that
the CSU Procurement team seeks declarations of interest from potential
bidders in the procurement process (Appendix 6), with the original signed
declaration of interest held by the CSU Procurement team and a copy sent
to the Head of Business Delivery.
Anyone contracted to provide services or facilities directly to the CCG will
be subject to the same provisions of the Constitution in relation to managing
conflicts of interests. This will include services provided by external
organisations like Commissioning Support Services, private businesses,
and third sector/non-profit organisations. This requirement will be set out in
the contract for services. Contractors will be required to make a declaration
on form included as Appendix 7, which will need to be returned to the Head
of Business Delivery.
Appendix 6: Procurement declaration of interest template (Bidder)
Appendix 7: Declaration of interest for contractors providing direct services
to the CCG
5 Related Documents The following documents contain information that relates to this policy:
23
HCCG – Conflicts of Interest Policy – v2.2 January 2014
• NHS Herefordshire CCG Constitution
• NHS Herefordshire CCG Standing Orders, Scheme of Reservation
and Delegation of Powers and Standing Financial Instructions
• Anti-Bribery Policy (ref: HG002)
• Anti-Fraud, Bribery and Corruption Policy (ref:HG001)
• Whistleblowing Policy (ref:HG008)
• NHS England’s Code of Conduct for Managing Conflicts of Interest
6 Dissemination This policy will be disseminated by the following methods:
• Publication on the CCG website
Staff:
• Personal letter to each member of staff asking them read the
policy and sign a declaration that they understand their
responsibilities under it and a declaration of interest form attached
to be completed and returned to Corporate Governance Manager.
• Staff newsletter with declaration of interest form link attached for
completion.
• Executive Leads/line managers to raise awareness of the policy
via staff briefings.
Board members:
• Email circulated by the Corporate Governance Manager to
highlight the new policy and ask for any amended interests to be
declared in a timely manner.
CCG members:
• Awareness raising at GP Parliament by the Chair of the CCG and
Governing Body and Practice Managers Group.
• Letter from Chair to GP representatives, asking them to read the
policy and make the necessary declarations of interest.
• To be raised at next GP Parliament.
• Update and link in the GP newsletter.
7 Advice Advice on declaration of interests can be sought from the following people:
Mike Emery Dr Andy Watts
Head of Business Delivery Chair
NHS Herefordshire CCG NHS Herefordshire CCG
35 Hafod Road 35 Hafod Road
Hereford Hereford
24
HCCG – Conflicts of Interest Policy – v2.2 January 2014
8 Review and Compliance Monitoring
8.1 Review A yearly review of the policy will be undertaken by the Audit Committee.
8.2 Compliance Monitoring The Audit Committee will require assurance annually on compliance with
the policy as part of its assurance programme.
Appendix 1
First report of the Committee on Standards in Public Life (1995)
The Nolan Principles:
Selflessness – holders of public office should act solely in terms of the public
interest. They should not do so in order to gain financial or other benefits for
themselves, their family or their friends.
Integrity – holders of public office should not place themselves under any financial
or other obligation to outside individuals or organisations that might seek to
influence them in the performance of their official duties.
25
HCCG – Conflicts of Interest Policy – v2.2 January 2014
Objectivity – in carrying out public business, including making public
appointments, awarding contracts, or recommending individuals for rewards and
benefits, holders of public office should make choices on merit.
Accountability – holders of public office are accountable for their decisions and
actions to the public and must submit themselves to whatever scrutiny is
appropriate to their office.
Openness – holders of public office should be as open as possible about all the
decisions and actions they take. They should give reasons for their decisions and
restrict information only when the wider public interest clearly demands.
Honesty – holders of public office have a duty to declare any private interests
relating to their public duties and to take steps to resolve any conflicts arising in a
way that protects the public interest.
Leadership – holders of public office should promote and support these principles
by leadership and example.
Appendix 2
Declaration of interests for members/employees Template NHS
Herefordshire Clinical Commissioning Group
26
HCCG – Conflicts of Interest Policy – v2.2 January 2014
Member / employee/ governing body member / committee or sub-committee
member (including committees and sub-committees of the governing body)
declaration form: financial and other interests
This form is required to be completed in accordance with the CCG’s Constitution and section 14O of The National Health Service Act 2006. Declaration:
Name:
Position w ithin or relationship with, the CCG:
Interests
Type of Interest Details Personal interest or that of a family member, close friend or other acquaintance?
Roles and responsibilities held within member GP practices
Directorships, including non - executi ve directorships, held in private companies or PLCs
Ownership or part - ownership of private companies, businesses or consultancies likely or possibly seeking to do business with the CCG
27
HCCG – Conflicts of Interest Policy – v2.2 January 2014
To the best of my knowledge and belief, the above information is complete and
correct. I undertake to update as necessary the information provided and to review
the accuracy of the information provided regularly and no longer than annually. I
give my consent for the information to be used for the purposes described in the
CCG’s Constitution and published accordingly.
Signed:
Date:
Shareholdings ( more than 5%) of companies in the field of health and social care
Positions of authority in an organisation (e.g. charity or voluntary organisation) in the field of health and social care
Any connection with a voluntary or other organisation contracting for NHS services
Research funding/grants t hat may be received by the individual or any organisation they have an interest or role in
Other specific interests?
Any other role or relationship which the public could perceive would impair or otherwise influence the
individual’s judgement or acti ons in their role within the CCG
28
HCCG – Conflicts of Interest Policy – v2.2 January 2014
Notes:
• The CCG must make arrangements to ensure that the persons mentioned above declare any interest which may lead to a conflict with the interests of the CCG and the public for whom they commission servicesin relation to a decision to be made by the CCG.
• A declaration must be made of any interest likely to lead to a conflict or potential conflict as soon as the individual becomes aware of it, and within 28 days.
• If any assistance is required in order to complete this form, then the
individual should contact Mike Emery, Head of Business Delivery.
• The completed form should be sent by both email and signed hard copy
to
Mike Emery, Head of Business Delivery, NHS Herefordshire CCG, 35 Hafod
Road, Herefordshire HR1 1SH , [email protected]
• Any changes to interests declared must also be registered within 28
days by completing and submitting a new declaration form via post or
email. The register will be published on the CCG’s website:
www.herefordshireccg.nhs.uk
• Any individual – and in particular members and employees of the CCG -
must provide sufficient detail of the interest, and the potential for conflict
with the interests of the CCG and the public for whom they commission services, to enable a lay person to understand the implications and why
the interest needs to be registered.
• If there is any doubt as to whether or not a conflict of interest could
arise, a declaration of the interest must be made.
Interests that must be declared (whether such interests are those of the individual
themselves or of a family member, close friend or other acquaintance of the
individual) include:
• roles and responsibilities held within member GP practices;
• directorships, including non-executive directorships, held in private
companies or PLCs;
• ownership or part-ownership of private companies, businesses or
consultancies likely or possibly seeking to do business with the CCG;
• shareholdings (more than 5%) of companies in the field of health and
social care;
• a position of authority in an organisation (e.g. charity or voluntary
organisation) in the field of health and social care;
• any connection with a voluntary or other organisation contracting for
NHS services;
• research funding/grants that may be received by the individual or any
organisation in which they have an interest or role;
• any other role relationship which the public could perceive would impair
or otherwise influence the individual’s judgement or actions in their role
within the CCG.
If there is any doubt as to whether or not an interest is relevant, a declaration of
the interest must be made.
29
HCCG – Conflicts of Interest Policy – v2.2 January 2014
Appendix 3
Register of interests
NHS Herefordshire Clinical Commissioning Group
This Register of Interests (Register) includes all interests declared by members,
employees, governing body members and members of committees or
subcommittees, (including committees and sub-committees of the governing body)
of NHS Herefordshire Clinical Commissioning Group (the CCG).
In accordance with the CCG’s constitution and section 14O of The National Health
Service Act 2006, the CCG’s accountable officer must be informed of any interest
which may lead to a conflict with the interests of the CCG and the public for whom
they commission services in relation to a decision to be made by the CCG, that
needs to be included in the Register within 28 days of the individual becoming
aware of the potential for a conflict. The Register will be updated regularly (at no
more than 3-monthly intervals).
Interests that must be declared (whether such interests are those of the individual
themselves or of a family member, close friend or other acquaintance of the
individual) include:
• roles and responsibilities held within member GP practices;
• directorships, including non-executive directorships, held in private
companies or PLCs;
• ownership or part-ownership of private companies, businesses or
consultancies likely or possibly seeking to do business with the CCG;
• shareholdings (more than 5%) of companies in the field of health and social
care;
• a position of authority in an organisation (e.g. charity or voluntary
organisation) in the field of health and social care;
• any connection with a voluntary or other organisation contracting for NHS
services;
• research funding/grants that may be received by the individual or any
organisation in which they have an interest or role;
• any other role or relationship which the public could perceive would impair
or otherwise influence the individual’s judgement or actions in their role
within the CCG.
30
HCCG – Conflicts of Interest Policy – v2.2 January 2014
Register of Interests
NHS Herefordshire Clinical Commissioning Group
31
HCCG – Conflicts of Interest Policy – v2.2 January 2014
Appendix 4
Procurement declaration of Interest (Project Team)
NHS Herefordshire Clinical Commissioning Group
[INSERT PROJECT TITLE AND CCG NAME]
TENDER REF: [INSERT REF]
PART 1 – CONFLICT OF INTEREST DECLARATION
Name & Organisation:
Summary Assessment / Recommendation (to be completed by Project Manager)
This person’s involvement in the project [should cease/can continue]:-
Signed:-
Name:-
Date:-
Name: -
Title: -
Organisation: -
Date: -
Project Role:
Nature of Conflict (please state “none” if no conflict exists):
Signed: -
32
HCCG – Conflicts of Interest Policy – v2.2 January 2014
[INSERT PROJECT TITLE AND CCG NAME] TENDER REF: [INSERT REF]
PART 2 – CONFIDENTIALTY UNDERTAKING
Name & Organisation:
Name:-
Title:-
Organisation:-
Date:-
Project Role:
I understand that I may be invited to participate either directly or indirectly in the
procurement process and hereby undertake:
To treat all information and documents under conditions of strict
confidentiality.
Not to disclose, make any copies of, or discuss any received information
with any person who is not directly involved in the procurement process.
Not to use (or authorise any other person to use) information and
documents other than for the purpose of my work in connection with the
procurement process.
To dispose of, or return to the project manager, documents as confidential
material as soon as I have no further use of them.
This undertaking applies until the time when the tendering process is complete
and a contract signed with the chosen supplier. This undertaking shall not apply to
any document or information that becomes public knowledge otherwise than as a
result of a breach of any of the above undertakings.
Signed:
-
Date:-
33
HCCG – Conflicts of Interest Policy – v2.2 January 2014
Notes and Guidance
The CCG is required to ensure that any procurement exercise is undertaken in
such a way that ensures: o Transparency – procurement activities must be fair
and open. o Objectivity – decisions must be based on objective data and criteria.
o Non-discrimination – the procurement process must not discriminate amongst
providers.
In support of the above, the CCG requires that any CCG member or CSU/CCG
employee involved in a procurement exercise signs up to a conflict of interest and
confidentiality undertaking.
Both parts should be completed. All pages should be dated and signed. If the
document is completed by hand please ensure that the information required is
presented clearly.
1. Notes - Conflict of Interest Declaration
Examples of conflicts of interest include:
• Having a financial interest (e.g. holding shares or options) in a potential bidder
or any entity involved in any bidding consortium including where such entity is
a provider of primary care services or any employee or officer thereof (Bidder
Party);
• Having a financial or any other personal interest in the outcome of the
evaluation process;
• Being employed by or providing services to any Bidder Party;
• Receiving any kind of monetary or non-monetary payment or incentive
(including hospitality) from any Bidder Party or its representatives;
• Canvassing, or negotiating with, any person with a view to entering into any of
the arrangements outlined above;
• Having a close member of your family who falls into any of the categories
outlined above; and
• Having any other close relationship (current or historical) with any Bidder Party.
The above is a non-exhaustive list of examples, and it is the individual’s
responsibility to ensure that any and all potential conflicts – whether or not of the
type listed above – are disclosed in the declaration prior to participation in the
procurement process.
Any disclosure will be assessed by the CCG on a case-by-case basis. Individuals
will be excluded from the procurement process where the identified conflict is in
the CCG’s opinion material and cannot be mitigated or be reasonably dealt with in
another way.
34
HCCG – Conflicts of Interest Policy – v2.2 January 2014
2. Notes – Confidentiality Undertaking
The procurement process encompasses any formal and informal meetings,
associated discussions, meeting preparation and follow up or any other related
activity.
Information means all information, facts, data and other matters of which
knowledge is acquired, either directly or indirectly, as a result of participating in the
procurement process.
Documents means all draft, preparatory information, documents and any other
material, together with any information contained therein, to which the participant
has access, either directly or indirectly, as a result of participation in the
procurement process. Furthermore, any records or notes made by the participant
relating to information or documents shall be treated as confidential documents.
35
HCCG – Conflicts of Interest Policy – v2.2 January 2014
Appendix 5
Code of conduct template
NHS Herefordshire Clinical Commissioning Group
To be used by the Head of Commissioning, when commissioning services from
GP practices, including provider consortia, or organisations in which GPs have a
financial interest
36
HCCG – Conflicts of Interest Policy – v2.2 January 2014
Why have you chosen this procurement route?2
What additional external involvement will there
be in scrutinising the proposed decisions?
2 Taking into account all relevant regulations (e.g. the NHS (Procurement, patient choice and competition)
regulations 2013 and guidance (e.g. that of Monitor).
37
HCCG – Conflicts of Interest Policy – v2.2 January 2014
How will the CCG make its final
commissioning decision in ways that preserve
the integrity of the decision-making process?
[DN: I don’t really understand why both Appendix 6 and 7 are required. What
is the distinction between the two Appendices? Proposed amendments to
Appendix 7 aimed at merging the two Appendices.}
Appendix 6
Procurement declaration of interest template (Bidder)
NHS Herefordshire Clinical Commissioning Group
{INSERT PROJECT TITLE]
[INSERT PROJECT REFERENCE]
Additional question for AQP or single tender (for services where national tariffs do not apply)
How have you determined a fair price for the service?
Additional questions for AQP o nly (where GP practices are likely to be qualified providers)
How will you ensure that patients are aware of the full range of qualified providers from whom they can choose?
Additional questions for single tenders from GP providers
What steps have be en taken to demonstrate that there are no other providers that could deliver this service?
In what ways does the proposed service go above and beyond what GP practices should be expected to provide under the GP contract?
What assurances will there be that a GP practice is providing high - quality services under the GP contract before it has the opportunity to provide any new services?
38
HCCG – Conflicts of Interest Policy – v2.2 January 2014
Pre-Qualification Questionnaire - Conflict of Interest Declaration [DN: Move these
To be completed by an authorised signatory, in his / her own name, on behalf of the potential Bidder. Potential Bidder N ame: - Name of Authorised Representative: - Position: - Date: -
__
Appendix 7
Conflicts of interests for bidders/contractors for NHS Herefordshire Clinical Commissioning Group
{ INSERT PROJECT TITLE]
[ INSERT PROJECT REFERENCE ]
C ontractors/service providers declaration form: financial and other interests
This form is required to be completed in accordance with the CCG’s Constitution.
39
HCCG – Conflicts of Interest Policy – v2.2 January 2014
Project details to Appendix 7 to create merged Appendices.]
Declarations:
Name of Relevant
Organisation:
Interests
Type of Interest Details
Provision of services
or other work for the
CCG
40
HCCG – Conflicts of Interest Policy – v2.2 January 2014
41
HCCG – Conflicts of Interest Policy – v2.2 January 2014
members’ or
employees’
judgements,
decisions or actions
To the best of my knowledge and belief, the above information is complete and
correct. I undertake to update as necessary the information.
Signed:
Date:
On behalf of:
Notes:
All potential contractors/service providers, including sub - contractors, members of a consortium, advisers or other associated parties (Relevant Organisation) are required to identify any potential conflicts of interest that could arise if the Relevant Organisation were to take part in any procurement process and/or provide services under, or otherwise enter into any contract with, the CCG.
If any assistance is requ ired in order to complete this form, then the Releva nt
42
HCCG – Conflicts of Interest Policy – v2.2 January 2014
Organisation should contact Head of Business Delivery, Mike Emery.
• The completed form should be sent to Head of Business Delivery.
• Any changes to interests declared either during the term of any contract
subsequently entered into by the Relevant Organisation and the CCG must
notified to the CCG by completing a new declaration form and submitting it to
Executive Lead Governance and Performance.
• Relevant Organisations completing this declaration form must provide sufficient detail of each interest so that a member of the public would be able to
understand clearly the sort of financial or other interest the person concerned
has and the circumstances in which a conflict of interest with the business or
running of the CCG might arise.
• If in doubt as to whether a conflict of interests could arise, a declaration of the
interests should be made.
Interests that must be declared (whether such interests are those of the Relevant
Person themselves or of a family member, close friend or other acquaintance of
the Relevant Person), include the following:
• The Relevant Organisation or any person employed or engaged by or
otherwise connected with a Relevant Organisation (Relevant Person) has
provided or is providing services or other work for the CCG;
• A relevant Organisation or Relevant Person is providing services or other work
for any other CCG or provider to the CCG in respect of this project;
• The Relevant Organisation or any Relevant Person has any other connection
43
HCCG – Conflicts of Interest Policy – v2.2 January 2014
wit h the CCG, whether personal or professional, which the public could
perceive may impair or otherwise influence the CCG’s or any of its members’ or employees’ judg e ments , decisions or actions.